Kew Yip Han

Yip Han is a Certified Internal Auditor with the Institute of Internal Auditors. Expanding from his experience with local and global banks in the area of KYC and AML, Yip Han conducts internal audits and assists various financial institutions in their compliance tasks. He is responsible for conducting internal audits for external assets managers, fund houses, and crowdfunding platforms to ensure auditees meet their financial, operational, and compliance objectives.

In conjunction with internal audits, Yip Han regularly assists in providing regulatory compliance advice to various financial organizations regarding the Securities and Futures Act 2001, Payment Services Act 2019, and related notices and guidelines issued by the Monetary Authority of Singapore. Yip Han has also provided compliance advice to a pawnbroker regulated by the Ministry of Law under the Pawnbrokers Act 2015 and the Precious Stones and Precious Metals (Prevention of Money Laundering and Terrorism Financing) Act 2019. Yip Han also assisted fund managers in their licensing by establishing and remediating their risk management controls.

Experience

Numerous fund management companies/external asset managers:

Conducting internal audits on the companies by objectively reviewing the organization’s business processes, evaluating the efficacy of risk management procedures that are currently in place, and against relevant authorities and industry benchmarks.

Various crowdfunding platforms:

Conducting internal audits of crowdfunding business processes such as marketing, customer/borrowers on-boarding and accreditation assessment, investment/product due diligence, business operations, human resources, outsourcing, and more.

Various fund management companies:

Advising various fund managers on regulatory and business conduct considerations, under regulations, notices, guidelines, circulars, and practice notes issued by the Monetary Authority of Singapore relevant to various aspects of financial activity, application of transaction monitoring, reporting requirements, anti-money laundering, due diligence, and outsourcing requirements, etc.

Various external asset managers:

Applying for and successfully obtained registrations for registered fund management companies.

Work Experience

Academic Qualifications